Joseph H. Pollard

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

SARATOGA, CA 95070

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CRD#: 5958255

Professional summary

Joseph Howard Pollard, who also goes by Joseph Howard Pollard-vithanage, is a registered financial advisor currently at SARATOGA RESEARCH & INVESTMENT MANAGEMENT located in Saratoga, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Joseph has worked at 3 firms and has passed the Series 65 and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Howard Pollard-Vithanage

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Howard Pollard's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 20, 2013 - Present

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

Office #1: 14471 Big Basin Way Suite E, Saratoga, CA 95070

RIA

CRD#: 110506

SARATOGA, CA

Past

August 28, 2012 - August 21, 2013

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

NEW YORK, NY

Past

September 13, 2011 - December 31, 2012

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

SARATOGA RESEARCH & INVESTMENT MANAGEMENT | TANNER & ASSOCIATES ASSET MANAGEMENT

CRD#: 110506 / SEC#: 801-57695

RIA

Registered Investment Advisory firm - (7/3/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/20/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/19/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79

Date: 9/12/2011

Investment Banking Registered Representative Examination

Current Firm

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

SARATOGA RESEARCH & INVESTMENT MANAGEMENT | TANNER & ASSOCIATES ASSET MANAGEMENT

CRD#: 110506 / SEC#: 801-57695

RIA

Registered Investment Advisory firm - (7/3/2000 Approved)

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Contact information

Main Address

14471 Big Basin Way, Suite E, Saratoga, CA 95070

Mailing Address

P.o. Box 3552, Saratoga, CA 95070

Phone number

(408) 741-2330

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SARATOGARIM DISCLOSURE BROCHURE PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	3,016
AUM (Assets Under Management)	$ 2,511,054,488

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Joseph H. Pollard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Howard Pollard's CRS (Customer Relationship Summary).

Certified licenses

Experience

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

Primary Firm SEC Registration

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2013

Series 79

Date: 9/12/2011

Current Firm

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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